SEC Form 4 · accession 0001209191-18-060929
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam D Nelson
Officer — EVP and General Counsel
Period of report
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001539638
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 30, 2018 | S | 6,000 | $37.84 | D | 18,076 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 trading plan established by the Reporting Person. The shares sold constituted all shares subject to the plan.
- F2Consists of (i) 13,664 shares beneficially owned by Reporting Person, and (ii) 4,412 shares of restricted stock of the reporting person subject to future vesting requirements.